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论文编号：	16134
作者编号：	2120243799
上传时间：	2026/6/8 22:52:20
中文题目：	技术转移中心建设与企业关键核心技术创新的关系研究 ——基于准自然实验的证据
英文题目：	The Establishment of Technology Transfer Centers and Enterprises’ Key Core Technology Innovation: Evidence from a Quasi-Natural Experiment
指导老师：	林润辉
中文关键字：	技术转移；关键核心技术创新；国家技术转移中心；准自然实验
英文关键字：	Technology Transfer; Key Core Technology Innovation; National Technology Transfer Center; Quasi-Natural Experiment
中文摘要：	当前，全球科技竞争日趋激烈，关键核心技术攻关已成为维护国家产业安全与竞争位势的战略支撑。国家技术转移中心作为疏通科技成果转化通道的核心制度载体，自 2013 年起在全国范围内渐进式布局，但其是否有效促进了企业关键核心技术突破、作用机制如何，仍缺乏严谨的实证检验。 本文以国家技术转移中心设立为准自然实验，基于市场设计、国家创新系统、技术创新扩散等理论，采用 2010-2023 年 A 股上市公司数据，借助交错双重差分、事件研究法、堆叠 DID、工具变量法等计量方法，系统评估技术转移对企业关键核心技术创新的因果效应、作用机制与边界条件。 研究发现：第一，国家技术转移中心设立显著促进企业关键核心技术创新，表现为提升企业关键核心技术专利申请量约 8.5%，该结论经系列稳健性检验后依然成立。第二，技术转移中心通过贯通创新链的三重机制路径发挥效用：在科学端，提升企业在技术交易网络中的中心性；在技术端，提升供应链集中度以加速技术系统集成与迭代；在产品端，依托政府补贴形成战略牵引。第三，基础研究合作与研发投入正向调节政策效应，金融摩擦则产生显著负向调节作用，揭示政策效果发挥的内部能力边界与外部资金约束。第四，异质性分析发现政策效果在高技术行业、国有企业及知识产权保护较强地区更为凸显。第五，拓展分析还揭示了技术转移中心政策的协同效应与空间溢出影响：政策红利可以传导至距试点省份 100-150km 范围内的企业，呈现显著的正向溢出效应。 本文边际贡献在于：研究视角上，精准锚定“卡脖子”领域的关键核心技术创新，弥补既有研究多聚焦一般性专利创新的不足；理论框架上，从 STP 创新链理论出发，构建“宏观政策助力—中观链条协同—微观企业吸收”的多层次分析框架，为理解技术转移赋能核心技术攻关提供整合性分析工具；研究维度上，揭示政策协同效应与空间溢出规律，丰富了技术转移政策的实证研究。 本文的研究拓展了技术转移政策效应与关键核心技术创新的相关文献，为优化国家技术转移体系建设、完善创新政策组合、推动企业核心技术突破提供了经验证据与实践启示。
英文摘要：	With the increasingly fierce global technological competition, tackling key core technologies has become a strategic pillar for safeguarding national industrial security and competitive position. As a core institutional carrier to smooth the channel of scientific and technological achievement transformation, National Technology Transfer Centers (NTTCs) have been gradually deployed nationwide since 2013. However, there is still a lack of rigorous empirical testing on whether they effectively promote enterprises’ breakthroughs in key core technologies and what their mechanism of action is. Taking the establishment of NTTCs as a quasi-natural experiment, based on theories such as market design, national innovation system, and technological innovation diffusion, this thesis uses data of A-share listed companies from 2010 to 2023, and adopts econometric methods including staggered difference-in-differences (DID), event study, stacked DID, and instrumental variable method to systematically evaluate the causal effect, mechanism of action and boundary conditions of technology transfer on enterprises’ key core technological innovation. The research findings are as follows: First, the establishment of NTTCs significantly promotes enterprises’ key core technological innovation, increasing the number of patent applications for enterprises’ key core technologies by about 8.5%, and this conclusion remains valid after a series of robustness tests. Second, NTTCs exert their effects through three mechanisms that connect the innovation chain: at the scientific end, they improve enterprises’ centrality in the technology transaction network; at the technological end, they increase the concentration of the supply chain to accelerate the integration and iteration of technological systems; at the product end, they form strategic guidance relying on government subsidies. Third, basic research cooperation and R&D investment positively regulate the policy effect, while financial frictions have a significant negative regulatory effect, revealing the internal capacity boundary and external capital constraints for the policy effect to play. Fourth, heterogeneity analysis shows that the policy effect is more prominent in high-tech industries, state-owned enterprises and regions with strong intellectual property protection. Fifth, the extended analysis also reveals the synergistic effect and spatial spillover impact of the NTTC policy: the policy dividend can be transmitted to enterprises within 100-150km from the pilot provinces, showing a significant positive spillover effect. The marginal contributions of this thesis are as follows: from the research perspective, it accurately focuses on the key core technological innovation in the “bottleneck” fields, making up for the deficiency that existing studies mostly focus on general patent innovation; from the theoretical framework, starting from the STP innovation chain theory, it constructs a multi-level analysis framework of “macro policy support - meso chain coordination - micro enterprise absorption”, providing an integrated analysis tool for understanding how technology transfer empowers the tackling of core technologies; from the research dimension, it reveals the laws of policy synergy and spatial spillover, enriching the empirical research on technology transfer policies. This study enriches the relevant literature on the effect of technology transfer policies and key core technological innovation, and provides empirical evidence and practical enlightenment for optimizing the construction of the national technology transfer system, improving the combination of innovation policies, and promoting enterprises’ breakthroughs in core technologies.
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